1. © 2007, IDEALS@UIUC This work is licensed under Creative Commons Attribution-NonCommercial-ShareAlike 2.5 License. To view a copy of this license, visit http://creativecommons.org/licenses/by-nc-sa/2.5/ Illinois Digital Environment for Access to Learning and Scholarship Starting a Digital Preservation Program Illinois Library Association October 12, 2007 Sarah Shreeves Tim Donohue Tom Teper

2. Outline What is Digital Preservation Management? What is IDEALS? Meeting Our Preservation Commitment Implementing DPM Activities within IDEALS Next Steps

3. What is Digital Preservation? Digitization Using “archival” CDs Collecting electronic records Building an institutional repository Running back-ups Digital Preservation is better understood as a management process.

4. Definitions Preservation - Providing access to materials for as long as they are needed by whomever needs them. Includes: Policies and Procedures, Preventative Preservation, Collections Conservation, Conservation, Reformatting, Replacement… Digital Preservation Management - Process that requires the use of the best available technology as well as carefully thought out administrative policies and procedures to maintain access to materials. Includes: Organizational Concerns, Technology Implementation and Management, Resource Management

5. Digital Preservation Management The process of building a platform that will enable an institution to maintain access its collections. Can be: Locally developed solutions Locally implemented commercial/open-access solutions Contractually secured Outsourced Typically is: All of the above

6. The Foundation I The Open Access Information System (OAIS) Reference Model

7. The Foundation II Trustworthy Repositories Audit and Certification: Criteria and Checklist (TRAC) v. 1.0 Originally Developed by the RLG/NARA Digital Repository Certification Task Force Evaluated by the Center for Research Libraries Expanded and Revised from the Original Draft Does not require OAIS compliance, but draws very heavily from the OAIS Reference Model

8. The Framework I Organizational Framework - The policies, procedures, practices, people—the elements that any programmatic area needs to thrive, but specialized to address digital preservation requirements. It addresses this key development question: What are the requirements and parameters for the organization's digital preservation program?

9. The Framework II Technological Infrastructure - Consists of the requisite equipment, software, hardware, a secure environment, and skills to establish and maintain the digital preservation program. It anticipates and responds wisely to changing technology. It addresses this key development question: How will the organization meet defined digital preservation requirements?

10. The Framework III Resource Framework - Addresses the requisite startup, ongoing, and contingency funding to enable and sustain the digital preservation program. It addresses this key development question: What resources will it take to develop and maintain the organization’s digital preservation program?

11. The Developmental Stages Acknowledge – understanding that digital preservation management is a local concern Act – Initiating digital preservation management projects Consolidate – Segueing from projects to programs Institutionalize – Incorporating the larger environment and rationalizing programs Externalize – Embracing inter-institutional cooperation

12. Where does the University Library Fit? StageRankKey Indicators OrganizationalTechnologyResources Acknowledge Digital preservation is a local concern 1Non-existent, implicit, very high level Non-existent, heterogeneous, decentralized Generally low, finite, ad hoc financial commitments Act Initiate digital preservation projects 2Implicit or general, increased evidence of commitment Project-specific, reactive, ad hoc Often project-based funding Consolidate Segue from projects to programs 3Basic and essential policies Assess technology investment, more proactive Some funding and support beyond projects, but limited Institutionalize Incorporate the larger environment 4Consistent, systematic, comprehensive policy framework for planning Anticipate needs, investments defined by management, implemented across system Sustainable funding identified for core program areas and enhancement Externalize Embrace collaboration and dependencies 5Virtual organizations complement institutions; collaboration inherent in resource planning Distributed and highly integrated; extra- organizational features/services Varying levels of investment, but sustained funding; possibly distributed management

13. The Digital Preservation Platform From the Cornell Digital Preservation Tutorial

14. Getting Started with Digital Preservation Start with a discrete, manageable collection of content Start with materials that you have a mandate to preserve - whether by tradition or by project scope Start with the understanding that it will be an ongoing, evolving process.

16. What is IDEALS? Institutional Repository for the scholarship and research in digital form of the faculty, students, and staff as well as material that reflects the intellectual environment of the University of Illinois at Urbana-Champaign. Joint project of CITES and the University Library and supported by the Office of the Provost. http://ideals.uiuc.edu/

17. IDEALS Systematic dissemination of deposited works Preservation Persistent and reliable access Focused on working with a handful of early adopters Pilot phase currently winding to an end Shift to production likely at the start of 2008

18. What type of materials? Also audio and video

19. A university-based institutional repository is a set of services that a university offers to the members of its community for the management and dissemination of digital materials created by the institution and its community members. It is most essentially an organizational commitment to the stewardship of these digital materials, including long-term preservation where appropriate, as well as organization and access or distribution. Clifford Lynch, Executive Director Coalition for Networked Information What is an institutional repository?

20. In the beginning: Promises, promises - Can we really commit to preserving everything? - What does it really mean to preserve this stuff? - What kind of staff expertise do we need? - What kind of resources do we need? - What kind of technical infrastructure do we need?

21. Getting our act together Got our Preservation Librarian involved Training and self education Cornell’s Digital Preservation Management Workshop and Online Tutorial http://www.library.cornell.edu/iris/tutorial/dpm/eng_index.html Understanding Open Archival Information System conceptual model Trustworthy Repositories Audit Checklist

22. Takeaways: You do need to be explicit about what you will do and what you won’t do. You don’t have to preserve everything if you say you aren’t. Digital preservation management is not about the technology.

23. Establish pilot policy http://www.ideals.uiuc.edu/about/IDEALSPreservationSupport.html Repository Support Allowable Downtime Content Preservation Allowable Data Loss Data Back-Up Format & Data Integrity Disaster Preparations Policy is realistic and feasible for where we were.

24. Photo by Sylvar. Used under a Creative Commons 2.0 Attribution license. http://www.flickr.com/photos/sylvar/ Not Really Our Server Room! Backup tapes stored next to the server! Getting our act together, cont.

25. Looking forward to production: Digital Preservation White Paper http://hdl.handle.net/2142/135 Laid out for the Library and CITES administration what supporting a digital preservation management program would mean: Commitment on the part of both organizations Resources in terms of funding and staff are specifically allocated Processes, policies, and the institutional commitment are documented and as transparent as possible. The technical infrastructure is developed using community standards. Commitment of resources for planning and community standards building.

26. IDEALS Preservation Policy: Organizational Framework and Commitment https://services.ideals.uiuc.edu/wiki/bin/view/IDEALS/IDEALSDigitalPreservationPolicy Mandate Agreement that we are making with our user community Role of the University Library in preserving access to material Objectives Persistent access Trusted service for our user community Scope Research and scholarship Who’s responsible? CITES and the Library

27. IDEALS Preservation Policy: Operating Principles Compliance with the Open Archival Information System (OAIS) Reference Model standard. Adherence to prevailing community standards for preserving access to digital content whenever possible. Participation in the development and implementation of standards. Commitment to an interoperable, scalable digital archive with appropriate storage management for content. Policies, procedures, and practices are clearly documented and consistent. Maintains hardware, software, and storage media containing archival content in keeping with prevailing best practices. Establishes procedures to meet archival requirements pertaining to provenance, chain of custody, authenticity, and integrity. Complies with intellectual property, copyright, and ownership rights for all content. Aiming for compliance with certification requirements for a Trustworthy Repository.

28. What resources do we need? Funding Currently from the Office of the Provost Designated staff Built into our job descriptions Technology infrastructure Move from Library to CITES Better environment Better security Distributes support for the tech infrastructure

29. Risks and Challenges Technological Change Sustainability Partnership between the University Library and CITES Identifying an Exit Strategy

30. Moving towards actionable policies and procedures

31. Putting the Plan into Practice Policy should lead Technology (not vice- versa) “Support” Policies will change Reassessment necessary Document decisions… and reasons! “Best Practices” – no reason to go it alone

32. What will IDEALS “support”? What have others done? Michigan’s Deep Blue – Preservation & Format PolicyPreservation & Format Policy Florida Digital Archive – Policies & Format “Action Plans”PoliciesFormat “Action Plans” Library of Congress – Sustainability of FormatsSustainability of Formats Australian Partnership for Sustainable Repositories (APSR) What Support Policies are we missing? Digital Preservation Support Policy Format Support “Matrix” Format Recommendations

33. Digital Preservation Support Format-based Categories of Support High Confidence Full Support (including migration) Medium Confidence No migration promised Low Confidence “Bit-level” support only Low Confidence (gray area) (size ≠ weight)

34. Compilation of “known” formats Concentration on textual formats Format Support Matrix ProprietaryOpen Microsoft OfficeOpenOffice.org, HTML Limited Adoption Widely Adopted OpenOffice.orgMicrosoft Office, HTML Limited Support Widely Supported Microsoft OfficeAdobe PDF, HTML Embedded Content / DRM Nothing Embedded MS Powerpoint (w/ Audio or Video)MS Powerpoint Lossy Compression No/Lossless Compression JPEGTIFF, JPEG 2000

35. Format Recommendations Textual CSV, Text, PDF/A, XML* Open Document Format RTF, MS Office, PDF, HTML Audio AIFF, WAVE, Ogg Vorbis, FLAC AAC, MP3, Real, WMA Images TIFF, JPEG 2000 GIF, JPEG, PNG Video AVI, Motion JPEG 2000 MP2, MP4, Quicktime, WMV High Confidence / Preference Medium Confidence / Preference

36. What we are doing Basic Activities (All Items: ) Regular Virus Scans, Checksum verification Nightly off-campus backups Refresh storage media Preservation Metadata (minimal) Format, checksum, file size, etc. Permanent Identifiers (Handles) Always keep the original document Monitoring and reassessment of formats Very minimal/infrequent for

37. What we are doing Intermediate Activities ( ) Additional monitoring, more frequent reassessment When possible, attempt to migrate formats to preserve content and style (hopefully) No promises that functionality will be preserved (e.g.) Powerpoint  PDF (possible functionality loss) (e.g.) PDF 1.4  PDF/A (possible style loss)

38. What we are doing Full Support Activities ( ) Additional monitoring, more frequent reassessment When necessary, migrate document to successive format. Attempt to preserve content, style and functionality (e.g.) PDF/A  successor to PDF/A

39. Policy  Technology BeforeAfter OpenOffice.org Format Converter (e.g.) http://hdl.handle.net/2142/2364http://hdl.handle.net/2142/2364

40. Our First Problem… Character issues in Word (and PDF) Found by chance Consultation with submitter Originally Wordperfect Re-submitted as RTF

41. What we are NOT doing Checking every file for content problems (e.g.) character encodings, DRM, embedded content Verifying ALL automated migrations are “successful” Checking validity of format (e.g. JHOVE) Removing/modifying/replacing original file Exceptions: viruses found or OCR necessary

42. Next Steps - Policies UIUC Library following our lead Digital Preservation Management program Library “Best Practices” IDEALS Preservation Working Group Internal analysis using Trustworthy Repositories Audit & Certification (TRAC) checklist Policy/Procedure Gap Analysis Ongoing format reassessment “Human-understandable” Policies/Procedures

43. Next Steps - Implementation Additional automated migrations Additional preservation metadata Check validity of formats (e.g. JHOVE) On upload virus scanning Best practices / technology monitoring:

44. Contact Information and References Tom Teper – tteper@uiuc.edutteper@uiuc.edu Sarah Shreeves – sshreeve@uiuc.edusshreeve@uiuc.edu Tim Donohue – tdonohue@uiuc.edutdonohue@uiuc.edu IDEALS: http://www.ideals.uiuc.edu/http://www.ideals.uiuc.edu/ IDEALS Wiki http://services.ideals.uiuc.edu/wiki/ Information Section  “Policies” Working Groups Section  “Preservation”